CDZI

SEC source: 0001854939-25-000003 · primary_doc.xml · nonDerivative · entry 1

SPEER STANLEY E · CIK 0001191897 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,185

F1 · shares: Represents the number of shares issued after giving effect to tax withholding as permitted under the approved terms applicable to the grant of 75,000 shares of the Company's common stock.

SEC source: 0001854939-25-000001 · primary_doc.xml · nonDerivative · entry 1

Lloyd Barbara A · CIK 0001617455 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,100

F1 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning January 1, 2025.

F2 · balance_after: Includes 4,087 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 6-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001854939-25-000002 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,821

F1 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning January 1, 2025.

F2 · balance_after: Includes 8,174 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest and be issued on January 31, 2025.

SEC source: 0001213900-24-094934 · ownership.xml · nonDerivative · entry 1

Heerema International Group Services SA · CIK 0001893146 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · HHC $ Fund 2012

Disclosed balance after: 22,783,965

SEC source: 0001782759-24-000001 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,236

F1 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning October 1, 2024.

F2 · balance_after: Includes 8,174 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest and be issued on January 31, 2025.

SEC source: 0001782759-24-000002 · primary_doc.xml · nonDerivative · entry 1

Lloyd Barbara A · CIK 0001617455 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,204

F1 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning October I, 2024.

F2 · balance_after: Includes 4,087 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 6-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0002040286-24-000002 · primary_doc.xml · derivative · entry 2

Rivera Cathryn · CIK 0002040286 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Company's common stock.

F4 · derivative.exercise_date: The 137,500 RSUs will vest as a performance goal-based milestone award once the following events have occurred: (a) 25,000 RSUs upon a closing a minimum of$200 million in equity capital for project finance; (b) 12,500 RS Us upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate 35,000 acre- feet per year ("AFY") of annual water supply to be delivered via the Northern or Southern Pipeline; (c) 25,000 RSUs upon the Binding and Unappealable issuance ofa Federal Land Policy and Management Act ("FLPMA") right of way permit ("ROW") authorizing the conveyance of water across Federal lands through the Northern Pipeline; (d) 25,000 RSUs upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate of25,000 AFY of annual water supply to be delivered via the Southern Pipeline;

F5 · derivative.exercise_date: Footnote 4 cont'd: (e) 25,000 RSUs upon the Binding and Unappealable completion of any CEQA/National Environmental Policy Act ("NEPA") review for the storage of imported water at the Cadiz Property; and (f) 25,000 RSUs for the first delivery by the Company of water under binding agreements with public water systems for the conveyance of water through the Northern Pipeline.

F4 · derivative.expiration_date: The 137,500 RSUs will vest as a performance goal-based milestone award once the following events have occurred: (a) 25,000 RSUs upon a closing a minimum of$200 million in equity capital for project finance; (b) 12,500 RS Us upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate 35,000 acre- feet per year ("AFY") of annual water supply to be delivered via the Northern or Southern Pipeline; (c) 25,000 RSUs upon the Binding and Unappealable issuance ofa Federal Land Policy and Management Act ("FLPMA") right of way permit ("ROW") authorizing the conveyance of water across Federal lands through the Northern Pipeline; (d) 25,000 RSUs upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate of25,000 AFY of annual water supply to be delivered via the Southern Pipeline;

F5 · derivative.expiration_date: Footnote 4 cont'd: (e) 25,000 RSUs upon the Binding and Unappealable completion of any CEQA/National Environmental Policy Act ("NEPA") review for the storage of imported water at the Cadiz Property; and (f) 25,000 RSUs for the first delivery by the Company of water under binding agreements with public water systems for the conveyance of water through the Northern Pipeline.

SEC source: 0002040286-24-000002 · primary_doc.xml · nonDerivative · entry 1

Rivera Cathryn · CIK 0002040286 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,500

F1 · shares: Represents the shares of common stock of Cadiz Inc. (the "Company") underlying a like number of restricted stock units ("RSUs") granted to the Reporting Person on September 16, 2024. These RSUs vest (a) in eleven equal installments of 11,450 on the final day of every quarter beginning September 30, 2024, and (b) one final quarterly installment of 11,550 vesting on June 30, 2027, subject in all cases to the Reporting Person's continuing employment as of each such vesting date.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of the securities has vested.

SEC source: 0001783184-24-000008 · primary_doc.xml · nonDerivative · entry 2

Lloyd Barbara A · CIK 0001617455 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,615

F2 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning July 1, 2024.

SEC source: 0001783184-24-000008 · primary_doc.xml · nonDerivative · entry 1

Lloyd Barbara A · CIK 0001617455 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,087

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 6-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001783184-24-000007 · primary_doc.xml · nonDerivative · entry 2

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,880

F2 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning July 1, 2024.

SEC source: 0001783184-24-000007 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,768

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001783184-24-000006 · primary_doc.xml · nonDerivative · entry 1

COURTER STEPHEN E · CIK 0001131058 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,277

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001783184-24-000005 · primary_doc.xml · nonDerivative · entry 1

Polanco Richard Garcia · CIK 0001385454 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,840

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001783184-24-000004 · primary_doc.xml · nonDerivative · entry 1

Lombard Kenneth T · CIK 0001327762 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,675

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001783184-24-000003 · primary_doc.xml · nonDerivative · entry 1

Webb de Macias Carolyn D · CIK 0001782759 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,815

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001783184-24-000002 · primary_doc.xml · nonDerivative · entry 1

Hickox Winston H · CIK 0001299311 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 184,859

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001783184-24-000001 · primary_doc.xml · nonDerivative · entry 1

Echaveste Maria · CIK 0001783184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,415

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2024, which shares will vest on January 31, 2025.

SEC source: 0001854939-24-000006 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,594

F1 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning April 1, 2024.

SEC source: 0001854939-24-000005 · primary_doc.xml · nonDerivative · entry 1

Kennedy Susan P · CIK 0001854939 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 966,921

F1 · balance_after: Includes 625,000 restricted stock units ("RSUs"), each representing a contingent right to receive one share of Cadiz Inc. (the "Company") common stock to vest ratably (a) in three equal quarterly installments of 75,000 each on the final day of every quarter of the Company's 2024 fiscal year and (b) in eight equal quarterly installments of 50,000 each on the final day of every quarter of the Company's 2025 and 2026 fiscal years, subject in all cases to the Reporting Person's continuing employment as of each such vesting date. The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of the securities has vested.

SEC source: 0001854939-24-000004 · primary_doc.xml · derivative · entry 4

Kennedy Susan P · CIK 0001854939 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 450,000 shares

Expires not disclosed

F8 · derivative.exercise_price: Each previously reported performance right represented a contingent right to receive one share of Cadiz Inc. common stock, which right was cancelled upon the Reporting Person entering into an amended and restated employment agreement with the Issuer.

F8 · derivative.exercise_date: Each previously reported performance right represented a contingent right to receive one share of Cadiz Inc. common stock, which right was cancelled upon the Reporting Person entering into an amended and restated employment agreement with the Issuer.

F8 · derivative.expiration_date: Each previously reported performance right represented a contingent right to receive one share of Cadiz Inc. common stock, which right was cancelled upon the Reporting Person entering into an amended and restated employment agreement with the Issuer.

SEC source: 0001854939-24-000004 · primary_doc.xml · derivative · entry 3

Kennedy Susan P · CIK 0001854939 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires not disclosed

F6 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of Cadiz Inc. common stock.

F7 · derivative.exercise_date: The 300,000 performance rights vest upon the Company's common stock achieving a price hurdle of $15 per share, subject to the Reporting Person's continuing employment as of such vesting date.

F9 · derivative.exercise_date: All RSUs and performance rights described herein, other than the initial 75,000 RSUs vested on 4/16/2024, are subject to increasing the number of shares authorized for issuance under the Cadiz Inc. 2019 Equity Incentive Plan, as amended, under a proposal to be approved at the Cadiz Inc. 2024 Annual Meeting of Stockholders.

F7 · derivative.expiration_date: The 300,000 performance rights vest upon the Company's common stock achieving a price hurdle of $15 per share, subject to the Reporting Person's continuing employment as of such vesting date.

F9 · derivative.expiration_date: All RSUs and performance rights described herein, other than the initial 75,000 RSUs vested on 4/16/2024, are subject to increasing the number of shares authorized for issuance under the Cadiz Inc. 2019 Equity Incentive Plan, as amended, under a proposal to be approved at the Cadiz Inc. 2024 Annual Meeting of Stockholders.

SEC source: 0001854939-24-000004 · primary_doc.xml · derivative · entry 2

Kennedy Susan P · CIK 0001854939 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Cadiz Inc. common stock.

F4 · derivative.exercise_date: The 600,000 RSUs will vest as a performance goal-based milestone award once the following events have occurred: (a) 50,000 RSUs upon the completion of the California Environmental Quality Act("CEQA") review for the construction and conveyance of water through the Northern Pipeline; (b) 100,000 RSUs upon the closing of project financing necessary for the construction of the Northern Pipeline; (c) 75,000 RSUs upon the issuance of a Federal Land Policy and Management Act right of way permit authorizing the conveyance of water across Federal lands through the Northern Pipeline; (d) 50,000 RSUs upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate of 25,000 acre-feet per year ("AFY") of annual water supply to be delivered via the Northern Pipeline;

F5 · derivative.exercise_date: Footnote 4 cont'd: (e) 50,000 RSUs upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate of 12,500 AFY of annual water supply to be delivered via the Southern Pipeline; (f) 50,000 RSUs upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate of 25,000 AFY of annual water supply to be delivered via the Southern Pipeline; (g) 75,000 RSUs upon the execution by public water systems of binding agreements for the storage of not less than25,000 acre-feet of imported water at the Cadiz Property; (h) 100,000 RSUs upon the completion of the CEQA/National Environmental Policy Act review for the storage of imported water at the Cadiz Property; and (i) 50,000 RSUs for first delivery by the Company of water under binding agreements with public water systems for the conveyance of water through the Northern Pipeline.

F9 · derivative.exercise_date: All RSUs and performance rights described herein, other than the initial 75,000 RSUs vested on 4/16/2024, are subject to increasing the number of shares authorized for issuance under the Cadiz Inc. 2019 Equity Incentive Plan, as amended, under a proposal to be approved at the Cadiz Inc. 2024 Annual Meeting of Stockholders.

F4 · derivative.expiration_date: The 600,000 RSUs will vest as a performance goal-based milestone award once the following events have occurred: (a) 50,000 RSUs upon the completion of the California Environmental Quality Act("CEQA") review for the construction and conveyance of water through the Northern Pipeline; (b) 100,000 RSUs upon the closing of project financing necessary for the construction of the Northern Pipeline; (c) 75,000 RSUs upon the issuance of a Federal Land Policy and Management Act right of way permit authorizing the conveyance of water across Federal lands through the Northern Pipeline; (d) 50,000 RSUs upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate of 25,000 acre-feet per year ("AFY") of annual water supply to be delivered via the Northern Pipeline;

F5 · derivative.expiration_date: Footnote 4 cont'd: (e) 50,000 RSUs upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate of 12,500 AFY of annual water supply to be delivered via the Southern Pipeline; (f) 50,000 RSUs upon the execution by public water systems of binding agreements for the purchase from the Company of not less than an aggregate of 25,000 AFY of annual water supply to be delivered via the Southern Pipeline; (g) 75,000 RSUs upon the execution by public water systems of binding agreements for the storage of not less than25,000 acre-feet of imported water at the Cadiz Property; (h) 100,000 RSUs upon the completion of the CEQA/National Environmental Policy Act review for the storage of imported water at the Cadiz Property; and (i) 50,000 RSUs for first delivery by the Company of water under binding agreements with public water systems for the conveyance of water through the Northern Pipeline.

F9 · derivative.expiration_date: All RSUs and performance rights described herein, other than the initial 75,000 RSUs vested on 4/16/2024, are subject to increasing the number of shares authorized for issuance under the Cadiz Inc. 2019 Equity Incentive Plan, as amended, under a proposal to be approved at the Cadiz Inc. 2024 Annual Meeting of Stockholders.

SEC source: 0001854939-24-000004 · primary_doc.xml · nonDerivative · entry 1

Kennedy Susan P · CIK 0001854939 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 941,921

F1 · shares: Represents the shares of common stock Cadiz Inc. (the "Company") underlying a like number of restricted stock units ("RSUs") granted to the Reporting Person on April 16, 2024. These restricted stock units shall vest ratably (a) in four equal quarterly installments of 75,000 each on the final day of every quarter of the Company's 2024 fiscal year (provided, however, that the first such installment which would otherwise vest on March 31, 2024 shall vest instead as of April 16, 2024) and (b) in eight equal quarterly installments of 50,000 each on the final day of every quarter of the Company's 2025 and 2026 fiscal years, subject in all cases to the Reporting Person's continuing employment as of each such vesting date.

F9 · shares: All RSUs and performance rights described herein, other than the initial 75,000 RSUs vested on 4/16/2024, are subject to increasing the number of shares authorized for issuance under the Cadiz Inc. 2019 Equity Incentive Plan, as amended, under a proposal to be approved at the Cadiz Inc. 2024 Annual Meeting of Stockholders.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of 625,000 of these securities until such time, and to the extent, that ownership of the securities has vested.

SEC source: 0001854939-24-000003 · primary_doc.xml · nonDerivative · entry 1

Kennedy Susan P · CIK 0001854939 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 241,921

F1 · shares: Shares granted under the 2019 Equity Incentive Plan to the Reporting Person as a performance bonus.

SEC source: 0001191901-24-000001 · primary_doc.xml · derivative · entry 2

SPEER STANLEY E · CIK 0001191897 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each previously reported RSU represents a contingent right to receive one share of Cadiz Inc. common stock.

F1 · shares: Represents the vesting of 42,500 previously reported restricted stock units ("RSUs") and the concurrent issuance of net 20,124 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

F1 · derivative.exercise_date: Represents the vesting of 42,500 previously reported restricted stock units ("RSUs") and the concurrent issuance of net 20,124 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

F1 · derivative.expiration_date: Represents the vesting of 42,500 previously reported restricted stock units ("RSUs") and the concurrent issuance of net 20,124 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

SEC source: 0001191901-24-000001 · primary_doc.xml · nonDerivative · entry 1

SPEER STANLEY E · CIK 0001191897 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,708

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the vesting of 42,500 previously reported restricted stock units ("RSUs") and the concurrent issuance of net 20,124 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

SEC source: 0001213900-24-020305 · ownership.xml · derivative · entry 4

Heerema International Group Services SA · CIK 0001893146 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · HHC $ Fund 2012

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2027-06-30

F2 · price: In connection with the convertible loan, Cadiz issued 1,000,000 warrants to purchase common stock to an affiliate of the Reporting Person.

SEC source: 0001213900-24-020305 · ownership.xml · derivative · entry 3

Heerema International Group Services SA · CIK 0001893146 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · HHC $ Fund 2012

Disclosed balance after: Not disclosed

Underlying: Common Stock · 3,773,585 shares

Expires 2027-06-30

F1 · price: Pursuant to an amendment to Credit Agreement, dated as of March 6, 2024, HHC $ Fund 2012, an affiliate of the Reporting Person, invested a sum of $20 million in the form of a convertible loan, the terms of which are set forth in the Issuer's Form 8-K, filed with the SEC on March 6, 2024. If the convertible loan is held to maturity, an aggregate of 5,119,067 shares of common stock are issuable upon conversion, calculated based on 7% PIK interest through maturity, payable quarterly in arrears, and assuming no event of default.

F1 · derivative.underlying_shares: Pursuant to an amendment to Credit Agreement, dated as of March 6, 2024, HHC $ Fund 2012, an affiliate of the Reporting Person, invested a sum of $20 million in the form of a convertible loan, the terms of which are set forth in the Issuer's Form 8-K, filed with the SEC on March 6, 2024. If the convertible loan is held to maturity, an aggregate of 5,119,067 shares of common stock are issuable upon conversion, calculated based on 7% PIK interest through maturity, payable quarterly in arrears, and assuming no event of default.

SEC source: 0001854939-24-000001 · primary_doc.xml · nonDerivative · entry 1

Kennedy Susan P · CIK 0001854939 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,921

SEC source: 0001854939-24-000002 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,015

F1 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning January 1, 2024.

F2 · balance_after: Includes 1,416 shares allocated to the Reporting Person under the 2019 Equity Inventive Plan for services rendered by the Reporting Person as a director of the Issuer for the 3-month period ended June 30, 2023, which shares will vest and be issued on January 31, 2024.

SEC source: 0000923876-23-000007 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,605

F1 · shares: Shares issued to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning October 1, 2023.

F2 · balance_after: Includes 1,416 shares allocated to the Reporting Person under the 2019 Equity Inventive Plan for services rendered by the Reporting Person as a director of the Issuer for the 3-month period ended June 30, 2023, which shares will vest and be issued on January 31, 2024.

SEC source: 0000923876-23-000006 · primary_doc.xml · nonDerivative · entry 1

Hickox Winston H · CIK 0001299311 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,685

F1 · balance_after: Includes 5,666 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2023, which shares will vest on January 31, 2024.

SEC source: 0001854939-23-000006 · primary_doc.xml · nonDerivative · entry 1

Kennedy Susan P · CIK 0001854939 · Director · Executive Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,159

F1 · shares: This transaction was executed in multiple trades at prices ranging from $3.16 to $3.17. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000727273-23-000013 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,791

SEC source: 0000727273-23-000012 · primary_doc.xml · nonDerivative · entry 1

Slater Scott S · CIK 0001519037 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,881

SEC source: 0000727273-23-000011 · primary_doc.xml · nonDerivative · entry 1

Kennedy Susan P · CIK 0001854939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,337

SEC source: 0000727273-23-000010 · primary_doc.xml · nonDerivative · entry 2

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,791

F2 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning July 1, 2023.

SEC source: 0000727273-23-000010 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,115

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer during the 3-month period beginning April 1, 2023.

SEC source: 0001213900-23-055154 · ownership.xml · nonDerivative · entry 1

Heerema International Group Services SA · CIK 0001893146 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · HHC $ Fund 2012

Disclosed balance after: 20,713,965

SEC source: 0000727273-23-000009 · primary_doc.xml · nonDerivative · entry 1

Dreyfus Maria S. · CIK 0001751484 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,416

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 3-month period ended June 30, 2023, which shares will vest on January 31, 2024.

SEC source: 0000727273-23-000008 · primary_doc.xml · nonDerivative · entry 1

COURTER STEPHEN E · CIK 0001131058 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,103

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2023, which shares will vest on January 31, 2024.

SEC source: 0000727273-23-000007 · primary_doc.xml · nonDerivative · entry 1

Webb de Macias Carolyn D · CIK 0001782759 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,641

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2023, which shares will vest on January 31, 2024.

SEC source: 0000727273-23-000006 · primary_doc.xml · nonDerivative · entry 1

Polanco Richard Garcia · CIK 0001385454 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,666

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2023, which shares will vest on January 31, 2024.

SEC source: 0000727273-23-000005 · primary_doc.xml · nonDerivative · entry 1

Lombard Kenneth T · CIK 0001327762 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,501

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2023, which shares will vest on January 31, 2024.

SEC source: 0000727273-23-000004 · primary_doc.xml · nonDerivative · entry 1

Hickox Winston H · CIK 0001299311 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,655

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2023, which shares will vest on January 31, 2024.

SEC source: 0000727273-23-000003 · primary_doc.xml · nonDerivative · entry 1

Echaveste Maria · CIK 0001783184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,241

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2023, which shares will vest on January 31, 2024.

SEC source: 0001854939-23-000004 · primary_doc.xml · nonDerivative · entry 1

Kennedy Susan P · CIK 0001854939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,337

SEC source: 0001854939-23-000004 · primary_doc.xml · nonDerivative · entry 2

Kennedy Susan P · CIK 0001854939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,337

F1 · kind: This transaction involved a gift of securities by the Reporting Person to her brother and sister-in-law, neither of whom shares the Reporting Person's household. The Reporting Person disclaims beneficial ownership of the shares transferred by way of this gift.

SEC source: 0000929638-23-002013 · form4.xml · nonDerivative · entry 7

Odey Asset Management LLP · CIK 0001512842 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · ownership.nature: Shares reported are held for the benefit of investment advisory clients of the Reporting Person. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that the Reporting Persons is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934 or for any other purpose.

F6 · ownership.nature: Shares held for the benefit of a private fund for which the Reporting Person serves as investment adviser.